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TJHA

Thomas J. Herzfeld Advisors Portfolio holdings

AUM $294M
1-Year Est. Return 2.62%
This Fund
S&P 500
This Quarter Est. Return
+6.77%
1 Year Est. Return
-2.62%
3 Year Est. Return
+17.9%
5 Year Est. Return
+9.72%
10 Year Est. Return
+46.96%
AUM
$188M
AUM Growth
-$838K
Cap. Flow
-$11.5M
Cap. Flow %
-6.14%
Top 10 Hldgs %
38.04%
Holding
322
New
15
Increased
71
Reduced
88
Closed
28

Top Buys

Rank Stock Value
1
SPE.PRB
Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B
SPE.PRB
+$725K
2
ESRT icon
Empire State Realty Trust
ESRT
+$701K
3
MIE
COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC.
MIE
+$649K
4
CET
Central Securities Corp
CET
+$553K
5
STEW
SRH Total Return Fund
STEW
+$549K

Top Sells

Rank Stock Value
1
CAF
Morgan Stanley China A Share Fund
CAF
+$2.02M
2
FOF icon
Cohen & Steers Closed End Opportunity Fund
FOF
+$1.5M
3
GDV icon
Gabelli Dividend & Income Trust
GDV
+$1.27M
4
NDP
TORTOISE ENERGY INDEPENDENCE FUND, INC.
NDP
+$1.05M
5
NTG
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
+$973K

Sector Composition

Rank Sector Weight
1 Industrials 6.09%
2 Financials 6.06%
3 Consumer Discretionary 5.58%
4 Consumer Staples 2.58%
5 Materials 1.87%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EVTC icon
76
Evertec
EVTC
$1.83B
$397K 0.21%
23,643
– –
GGT
77
Gabelli Multimedia Trust
GGT
$170M
$395K 0.21%
52,194
-48,162
-48% -$357K
DEX
78
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$379K 0.2%
37,455
-1,595
-4% -$16.1K
MGU
79
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$355K 0.19%
16,273
-7,406
-31% -$162K
FCX icon
80
Freeport-McMoran
FCX
$90B
$348K 0.19%
32,000
– –
FUND
81
Sprott Focus Trust
FUND
$293M
$346K 0.18%
50,116
-1,581
-3% -$10.8K
JGH icon
82
Nuveen Global High Income Fund
JGH
$348M
$345K 0.18%
21,985
-910
-4% -$14K
NML
83
Neuberger Energy Infrastructure and Income Fund Inc
NML
$607M
$330K 0.18%
+35,596
New +$311K
NZF icon
84
Nuveen Municipal Credit Income Fund
NZF
$2.4B
$319K 0.17%
20,284
-1,944
-9% -$30.9K
BNS icon
85
Scotiabank
BNS
$106B
$318K 0.17%
6,000
– –
DMC
86
Del Monte Corp
DMC
$1.35B
$300K 0.16%
5,000
– –
WU icon
87
Western Union
WU
$2.57B
$291K 0.16%
14,000
– –
FOF icon
88
Cohen & Steers Closed End Opportunity Fund
FOF
$374M
$285K 0.15%
23,218
-125,000
-84% -$1.5M
BIT icon
89
BlackRock Multi-Sector Income Trust
BIT
$696M
$266K 0.14%
15,591
-1,170
-7% -$19.9K
BTZ icon
90
BlackRock Credit Allocation Income Trust
BTZ
$927M
$260K 0.14%
19,474
– –
TDF
91
Templeton Dragon Fund
TDF
$268M
$244K 0.13%
13,842
-2,253
-14% -$40.6K
NVG icon
92
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.65B
$241K 0.13%
14,977
-11,956
-44% -$194K
TWN
93
Taiwan Fund
TWN
$493M
$236K 0.13%
13,644
-21,377
-61% -$355K
MXE
94
Mexico Equity and Income Fund
MXE
$57.6M
$229K 0.12%
22,117
-349
-2% -$3.73K
MXF
95
Mexico Fund
MXF
$306M
$213K 0.11%
13,345
+5,712
+75% +$93.9K
NXG
96
NXG NextGen Infrastructure Income Fund
NXG
$339M
$213K 0.11%
3,226
-200
-6% -$13K
ADM icon
97
Archer Daniels Midland
ADM
$41.4B
$211K 0.11%
5,000
– –
AFB
98
AllianceBernstein National Municipal Income Fund
AFB
$312M
$211K 0.11%
14,355
-12,000
-46% -$178K
MSD
99
Morgan Stanley Emerging Markets Debt Fund
MSD
$147M
$192K 0.1%
19,899
– –
BGB
100
Blackstone Strategic Credit 2027 Term Fund
BGB
$500M
$183K 0.1%
12,281
– –
2 3
4
5 6

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Thomas J. Herzfeld Advisors's Q3 2016 Portfolio in Review

As of Q3 2016, Thomas J. Herzfeld Advisors held 322 positions worth $188M, down 0.44% from $189M the previous quarter. Its ten largest holdings account for 38% of the portfolio.

Thomas J. Herzfeld Advisors withdrew a net $11.5M in Q3 2016, closing 28 positions and reducing 88 holdings. Its most notable exit was Tortoise Midstream Energy Fund, Inc. Common Stock, an estimated $973K position sold in full.

By sector, the portfolio is most concentrated in Industrials at 6.1% of assets, up from 5% a quarter earlier, followed by Financials and Consumer Discretionary.

Against the trend, Thomas J. Herzfeld Advisors opened a new position in Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B worth $728K.

  • Thomas J. Herzfeld Advisors's largest Q3 2016 buy was Special Opportunities Fund, Inc. 3.50% Convertible Preferred Stock, Series B: 28,218 shares worth $728K.
  • Thomas J. Herzfeld Advisors added most to COHEN & STEERS MLP INCOME AND ENERGY OPPORTUNITY FUND, INC. in Q3 2016, an estimated $649K increase.
  • Thomas J. Herzfeld Advisors's biggest Q3 2016 reduction was Morgan Stanley China A Share Fund, cutting an estimated $2.02M.
  • Thomas J. Herzfeld Advisors fully exited Tortoise Midstream Energy Fund, Inc. Common Stock in Q3 2016, selling an estimated $973K.
  • Thomas J. Herzfeld Advisors's ten largest holdings make up 38% of its $188M portfolio in Q3 2016.
  • Thomas J. Herzfeld Advisors opened 15 new positions and closed 28 in Q3 2016.
  • Thomas J. Herzfeld Advisors's portfolio value fell 0.44% quarter-over-quarter to $188M.

Based on Thomas J. Herzfeld Advisors's 13F filing for Q3 2016, filed 14 Nov 2016.